SEC Form 4 · accession 0001209191-18-022348
SURMODICS INC · SRDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan E Knight
Director
Period of report
Mar 29, 2018
Accepted (ET)
Apr 2, 2018 · 3:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000924717
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 29, 2018 | M | 11,450 | $12.40 | A | 29,460 | D | |
| Common StockF1 | Mar 29, 2018 | F | 3,732 | $38.05 | D | 25,728 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $12.40 | Mar 29, 2018 | M | 11,450 | D | — | Nov 30, 2018 | Common Stock | 11,450 | 0 | D |
Explanation of responses
- F1The amount beneficially owned includes 9,371 restricted stock units (RSUs) that vest on service-based vesting dates that will be settled in shares of the issuer's common stock on a 1 for 1 basis when the reporting person's service as a director ends.
- F2Fully vested.